Enforcement 

Enforcement Staff of the Commission receive and assess complaints concerning alleged misconduct in the Alberta capital market and investigate possible breaches of Alberta's securities laws. If Enforcement Staff believe that proceedings are warranted against one or more parties, they will launch a hearing before a Commission panel using a Notice of Hearing or will launch an action in the Provincial Court of Alberta. Both types of proceedings result in decisions determining whether Alberta's securities laws were breached and, if appropriate, orders setting out the sanctions or consequences.

Status of Proceedings
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